Bright Smart Securities International (H.K.) Ltd., a member of HKEx 1428, is a fast growing securities brokerage company focusing primarily on providing online brokerage services which covers securities, futures and options in Hong Kong as well as financial products traded in the US and Singapore Exchanges; margin and IPO financings etc. To cope with our rapid growth, we are looking for high caliber talents to join us in the following position:-
Senior Compliance Officer
jobsDB Ref. JHK100003004779192
- Handling SFC licensing matters;
- Updating compliance policies and procedures, and information on regulatory requirements;
- Liaising with regulatory authorities;
- Assisting in the implementation of compliance projects and report progress;
- May assist in data input and legal work as well.
- Degree in Accountancy/ Finance/ Law and related subjects is preferred;
- At least 3 years experiences in financial institutions, banks, brokerage, law firms in handling securities matters is an advantage;
- With knwoledge in SFC licensing registration work is an advantage;
- With direct experience in liaison with regulatory authorities is preferred;
- With knowledge in Know Your Client and AML rules is preferred;
- Knowledge of securities and investment products and their operation;
- Good understanding of internal control and compliance risk;
- Be organized, responsible, and willing to work overtime when necessary;
- Good command of written and spoken English and Cantonese; and
- Good knowledge in Microsoft Office software including Microsoft Excel is an advantage.
- Candidate with less experiences will be considered as Compliance Officer.
We offer competitive remuneration package to the right candidates.
For more details, please visit our Group website at www.bsgroup.com.hk
Interested applicant should apply with detailed resume and expected salary by email to: firstname.lastname@example.org or fax to: 2530 2218.
(All information collected will be used for recruitment purpose only)